Regulatory Actions
SEBI
Download list of SEBI debarred entities (.xls)
- Order issued by SEBI against Trading Members
| Trading Member | SEBI Order |
|---|---|
| Conard Securities Private Limited |  |
| Anee Securities Private Limited | |
| KSBL Securities Limited | |
| Credential Stock Brokers Limited | |
- Members
Details of enforcement actions taken by NSEIL against Trading Members pursuant to inspection as per SEBI letter dated Ref. No. SEBI/HO/MIRSD/DPIEA/OW/2021/10188/1 dated May 11, 2021.
| Sr. No. | Name of the Member | SEBI Registration number |
Minimum Net-worth Requirement (Rs. in Crores) |
Whether Meeting Min Net-worth requirement | Action taken |
|---|---|---|---|---|---|
| 1 | STAMPEDE CAPITAL LIMITED | INZ000247038 | 1 | No | Disabled w.e.f. December 03, 2021 for reporting negative half yearly Net-Worth in accordance with NSE circular NSE/COMP/47735 dated March 24, 2021 and NSE/COMP/49908 dated October 11, 2021 |
| 2 | INDO ASIAN SECURITIES PVT. LTD. | INZ000280931 | 1 | No | Disabled w.e.f. Dec 07, 2020 for reporting negative Net-Worth in two consecutive half years, in accordance with NSE circular Ref No. NSE/COMP/46129 dated October 23, 2020 |
| 3 | ABHIK FINANCE PRIVATE LIMITED | INF231120438 | 1 | No |
Disabled w.e.f. w.e.f. August 09, 2021 for reporting negative half yearly Net-Worth as on March 31, 2021 in accordance with NSE circular NSE/COMP/47735 dated March 24, 2021 and NSE/COMP/47873 dated April 02, 2021 |
| 4 | SHAVETA STOCK & SECURITIES PVT. LTD. | INZ000182134 | 1 | No |
Disabled w.e.f. w.e.f. August 09, 2021 for reporting negative half yearly Net-Worth as on March 31, 2021 in accordance with NSE circular NSE/COMP/47735 dated March 24, 2021 and NSE/COMP/47873 dated April 02, 2021 |
| 5 | RAJSONS SECURITIES LTD. | INZ000217932 | 3 | No | Disabled w.e.f. May 24, 2023 for reporting shortfall in half yearly Net-Worth as on March 31, 2023 in accordance with NSE circular NSE/INSP/53530 dated September 2, 2022 and NSE/COMP/56288 dated April 06, 2023 |
| 6 | RSG SHARE & STOCK BROKERS LTD. | INB230814535 | 3 | No | Disabled w.e.f. May 30, 2023 for reporting shortfall in half yearly Net-Worth as on March 31, 2023 in accordance with NSE circular NSE/INSP/53530 dated September 2, 2022 and NSE/COMP/56288 dated April 06, 2023 |
| 7 | ACUMEN SHARE SERVICES PRIVATE LIMITED | INZ000282038 | 3 | No | Disabled w.e.f. May 31, 2023 for reporting shortfall in half yearly Net-Worth as on March 31, 2023 in accordance with NSE circular NSE/INSP/53530 dated September 2, 2022 and NSE/COMP/56288 dated April 06, 2023 |
| Sr. No. | Member Name | Member Code | Reason of Suspended / Expelled | Date of Declaration Of Suspended / Expelled | Date of revocation | Circular No. | Current Status | Current Status Date |
|---|---|---|---|---|---|---|---|---|
| 1 | CLARIDGES INVESTMENTS & FINANCE PRIVATE LIMITED | 10605 | Failure of the trading member in meeting the capital adequacy requirements for continued admittance to the trading membership of the Exchange | 2-Apr-07 | till date | Vide Press release dated 4/2/2007 | Suspended | 2-Apr-07 |
| 2 | GROWTH AVENUES LTD | 07781 | Failure of the trading member in meeting the capital adequacy requirements for continued admittance to the trading membership of the Exchange | 2-Apr-07 | till date | Vide Press release dated 4/2/2007 | Suspended | 2-Apr-07 |
| 3 | JAICO SECURITIES P. LTD | 06007 | Pursuant to SEBI order no.-CO/IVD-6/292/2009 dated October 23, 2009 | 27-Oct-09 | 25-Dec-09 | NSE/COMP/13347 | Enabled | 29-Dec-09 |
| 4 | BANHEM SECURITIES PVT LTD | 06536 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | 19-Nov-09 | NSE/COMP/13492 | Enabled | 19-Nov-09 |
| 5 | MONEYCARE SECURITIES & FINANCIAL SERVICES LTD. | 06471 | Pursuant to SEBI Order dated February 20, 2008 | 13-Mar-08 | 13-Mar-08 | Not applicable since member was suspended for only one day. | Enabled | 14-Mar-08 |
| 6 | DGP SECURITIES LIMITED | 06541 | Pursuant to SEBI Order dated September 25, 2008 | 17-Oct-08 | 16-Nov-08 | NSE/COMP/11504 | Enabled CM, Disabled FnO | 17-Nov-08 |
| 7 | ANUGRAH STOCK & BROKING PVT. LTD. | 11856 | Pursuant to SEBI order dated May 22, 2009 | 25-May-09 | 4-Jun-09 | NSE/COMP/12437 | Enabled | 5-Jun-09 |
| 8 | NARAYAN SECURITIES LTD. | 09354 | Pursuant to SEBI order dated Jan 13, 2009 | 24-Jun-09 | 7-Jul-09 | NSE/COMP/12627 | Enabled | 8-Jul-09 |
| 9 | CREDENTIAL STOCK BROKERS LTD. | 09033 | Pursuant to SEBI order dated Jan 13, 2009 | 24-Jun-09 | 7-Jul-09 | NSE/COMP/12627 | Enabled | 8-Jul-09 |
| 10 | ANIL KUMAR SEHGAL | 07792 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended | 19-Nov-09 |
| 11 | RAJKUMAR CHAINRAI BASANTANI | 06494 | Pursuant to SEBI order dated December 12, 2008 | 2-Jan-09 | 2-Jan-11 | NSE/COMP/11839 | Suspended | 2-Jan-09 |
| Pursuant to SEBI order dated October 16, 2009 | 16-Oct-09 | 15-Oct-11 | No Circular Downloaded, as the member was already suspended on Jan 2, 2009 | Suspended | 2-Jan-09 | |||
| Pursuant to SEBI order no.WTM/MSS/MIRSD/35/2010 dated February 3, 2010 | 24-Feb-10 | Till payment of SEBI Registration Fees | No Circular Downloaded, as the member was already suspended on Jan 2, 2009 | Suspended | 2-Jan-09 | |||
| 12 | PARNI SECURITIES LTD | 06444 | Pursuant to SEBI order no.-WTM/MSS/MIRSD/11/2009 dated August 10, 2009 | 31-Aug-09 | Till payment of SEBI Registration Fees | NSE/COMP/12976 | Suspended | 31-Aug-09 |
| 13 | MAHESH INVESTMENTS | 06601 | Pursuant to SEBI order no.-WTM/MSS/MIRSD/11/2009 dated August 10, 2009 | 31-Aug-09 | Till payment of SEBI Registration Fees | NSE/COMP/12976 | Suspended | 31-Aug-09 |
| 14 | PRACHI FINANCIAL SERVICES (P) LTD | 08817 | Pursuant to SEBI order no.-WTM/MSS/MIRSD/11/2009 dated August 10, 2009 | 31-Aug-09 | Till payment of SEBI Registration Fees | NSE/COMP/12976 | Suspended | 31-Aug-09 |
| 15 | BHARAT RASAYAN FINANCE LTD | 08142 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended CM, Enabled FnO | 19-Nov-09 |
| 16 | MEKASTER SECURITIES PVT. LTD. | 08262 | Pursuant to SEBI order dated December 12, 2008 | 2-Jan-09 | 1-Feb-09 | NSE/COMP/11839 | Surrendered Membership | 8-Sep-09 |
| 17 | C. MACKERTICH LTD. | 07694 | Pursuant to SEBI order dated December 12, 2008 | 2-Jan-09 | 1-Feb-09 | NSE/COMP/11839 | Applied for Surrender | 5-Jun-09 |
| 18 | M ASHOK MOOTHA | 01389 | Pursuant to SEBI order no.- WTM/MSS/MIRSD/38/2010>dated March 08, 2010 | 29-Mar-10 | 30-Mar-10 | NSE/COMP/14425 | Disabled | 12-Mar-07 |
| 19 | AKI FINANCE & SECURITIES (P) LTD | 08554 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended CM, Disabled FnO | 15-Mar-04 |
| 20 | H K FINANCE & CAPITALS LTD | 06812 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended | 30-Aug-05 |
| 21 | DUGAR CAPITAL MANAGEMENT SERVICES LTD. | 08551 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Surrender Approved | 1-Dec-99 |
| 22 | GILTEDGE CREDIT CAPITAL LTD. | 08864 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended | 30-Aug-05 |
| 23 | NIKKO CAPITAL MARKET PVT. LTD. | 07531 | Pursuant to SEBI order no.-WTM/MSS / MIRSD /25/2009 dated October 29, 2009 | 19-Nov-09 | Till payment of SEBI Registration Fees | NSE/COMP/13492 | Suspended CM, Disabled FnO | 26-Oct-01 |
| 24 | ALKA SECURITIES LTD | 06292 | Pursuant to SEBI order dated October 30, 2009 | 23-Jan-10 | 22-Mar-10 | NSE/COMP/13974 | Enabled | 11-May-10 |
| Pursuant to SEBI order no. WTM/KMA/IVD/260/04/2010 dated April 29, 2010 | 30-Apr-10 | 10-May-10 | NSE/INVG/14685 | Enabled | 11-May-10 | |||
| 25 | RAJANARAYAN CAPITAL MARKETS SERVICES LTD. | 07532 | Pursuant to SEBI order no.-WTM/MSS/MIRSD/35/2010 dated February 03, 2010 | 24-Feb-10 | Till payment of SEBI Registration Fees | No Circular Downloaded, as the member was already suspended | Suspended | 4-Aug-06 |
| Sr.No. | Name of Trading Members | Details |
|---|---|---|
| 1 | India Infoline Ltd. | SEBI order no WTM/KMA/60/04/2009 dated April 23, 2009 in the matter of Pyramid Saimira Theatre Limited. |
| 2 | Monarch Project And Finmarkets Ltd | SEBI order no WTM/KMA/60/04/2009 dated April 23, 2009 in the matter of Pyramid Saimira Theatre Limited. |
| 3 | Sankalp Share Brokers (P) Ltd. | SEBI order no WTM/KMA/60/04/2009 dated April 23, 2009 in the matter of Pyramid Saimira Theatre Limited. |
| 4 | Transparent Shares & Securities Pvt Ltd | SEBI order no WTM/KMA/60/04/2009 dated April 23, 2009 in the matter of Pyramid Saimira Theatre Limited. |
| 5 | Action Financial Services (India) Ltd | SEBI order no WTM/KMA/60/04/2009 dated April 23, 2009 in the matter of Pyramid Saimira Theatre Limited. |
| SI. No. | Name of the Members (Noticees) | Date of Show Cause Notice | Show Cause Notice |
| 1 | Bezel Stock Brokers Private Limited |
May 27, 2022 |
|
| 2 | Reflection Investments | May 27, 2022 | |
| 3 | Action Financial Ser.(India) Ltd. | May 27, 2022 | |
| 4 | Sumpoorna Portfolio Limited | May 27, 2022 | |
| 5 | Vineet Securities Pvt. Ltd. | May 27, 2022 | |
| 6 | Quantum Global Securities Limited | May 27, 2022 | |
| 7 | Wellindia Securities Limited | May 27, 2022 | |
| 8 | Vrise Securities Private Limited | May 27, 2022 | |
| 9 | Credential Stock Brokers Ltd. | May 27, 2022 | |
| 10 | Arcadia Share & Stock Brokers Private Limited | May 27, 2022 | |
| 11 | C.M. Goenka Stock Brokers Pvt. Ltd. | May 27, 2022 | |
| 12 | Destiny Securities Ltd. | May 27, 2022 | |
| 13 | Bhavesh Dhirajlal Stock Broking Co. Ltd. | May 27, 2022 | |
| 14 | Enrich Fin & Securities Ltd. | May 27, 2022 | |
| 15 | First Futures And Stocks Private Limited | May 27, 2022 | |
| 16 | Ganga Yamuna Finvest Private Limited | May 27, 2022 | |
| 17 | Gems Equities & Securities Pvt. Ltd. | May 27, 2022 | |
| 18 | Indovision Securities Limited | May 27, 2022 | |
| 19 | Olympia Securities Limited (Investnet Securities India Ltd) | May 27, 2022 | |
| 20 | Century Consultants Ltd. | May 27, 2022 | |
| 21 | Merlin (India) Ltd. | May 27, 2022 | |
| 22 | Moneyflo Securities Private Limited | May 27, 2022 | |
| 23 | Omkam Capital Markets Private Limited | May 27, 2022 | |
| 24 | Orient Capital Markets Pvt.Ltd. | May 27, 2022 | |
| 25 | Orion Capital and Debt Market | May 27, 2022 | |
| 26 | Parikh & Shah Finvest Pvt Ltd | May 27, 2022 | |
| 27 | Prem Somani Share Brokers Pvt. Ltd. | May 27, 2022 | |
| 28 | Prime Broking Company (I) Limited | May 27, 2022 | |
| 29 | Rusoday Securities Ltd. | May 27, 2022 | |
| 30 | Star Share & Stock Brokers Ltd. | May 27, 2022 | |
| 31 | Unicon Securities Pvt. Ltd. (Unickon Securities Pvt. Ltd.) | May 27, 2022 | |
| 32 | Wealth Mantra Limited | May 27, 2022 | |
| 33 | Yuvraj Securities | May 27, 2022 | |
| 34 | Classic Share & Stock Broking Services Ltd | May 27, 2022 | |
| 35 | Grovalue Securities Private Limited | May 27, 2022 | |
List of AP Cancellation done due to Disciplinary Reason:
Download Authorized Persons Cancelled by Trading Member due to Disciplinary Reason (.pdf)
Disclaimer:
Updated on: 06/11/2024
